Senior Auditor - ICG Compliance

Recruiter
Citi
Location
New York
Salary
Competitive
Posted
Sep 20, 2016
Closes
Sep 24, 2016
Industry
Banking
Employer Type
Direct Employer
Employment Type
Permanent
Hours
Full Time
Job Board
NYCityWorks.com
Job Description:

* Primary Location: United States,New York,New York * Other Location: United States,Florida,Tampa; United States,South Carolina,Fort Mill * Education: Bachelor's Degree * Job Function: Audit * Schedule: Full-time * Shift: Day Job * Employee Status: Regular * Travel Time: Yes, 25 % of the Time * Job ID: Description Internal Audit is a global organization of over 1000 professionals covering Citi's global businesses and service to clients and customers in over 180 countries. Citi's Internal Audit division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and Citi's numerous regulators globally. Internal Audit is a change agent within Citi aimed to enhance the control culture of Citigroup worldwide and thereby support senior management decision making around the globe. This role participates in the timely delivery of high quality, value added assurance and audit reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates and of Citi's respective regulators, globally. This role will contribute to the scoping and execution of Compliance audit coverage in accordance with established IA methodology and professional auditing standards, legal entity governance reporting, and other regulatory compliance audits. The position will be based in New York and will provide IA's Compliance Center of Excellence team with resources to ensure the provision of independent assurance, which is consistent and aligned with the NY and global IA strategies and Institutional Clients business objectives, is met. Specifically this will cover the core businesses Capital Markets Origination, Corporate & Investment Banking, Markets, Treasury & Trade Solutions, Securities & Fund Services, and the Citi Private Bank. The candidate should have functional knowledge of local regulatory compliance programs that have been established to comply with the local regulatory requirements, Citi policies and procedures, provisions and guidelines established by the Federal Reserve, Securities Exchange Commission and other related agencies, and all applicable regulations governing local banking activities and operations. The candidate must have working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to work with senior management. Key Responsibilities: * Applies solid understanding of internal audit standards, policies, and local regulations to provide timely audit assurance. * Executes a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies. * Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and where appropriate, branch examinations, as well as business monitoring and governance committee reporting. * Performs audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan. * Applies solid understanding of how internal audit collectively integrates with line management and control functions to accomplish the objectives of the function and overall business. * Proactively advances integrated auditing concepts and use of technology. * Performs moderately complex audits related to regulatory compliance in accordance with IA methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions. * Completes assigned audits within budgeted timeframes, and budgeted costs. * Monitors the risk environment and assesses the emerging risks through the Business Monitoring process. * Recommends appropriate and pragmatic solutions to risk and control issues. * Applies knowledge of key regulations to influence audit scope. * Develops effective line management relationships to ensure strong understanding of the business. * Pro-actively develops automated routines to help focus audit testing. Qualifications * BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus. * Experience in areas related to compliance, external or internal audit. * Intermediate level experience in a related role with experience in business and functional management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables. * Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style. * Strong interpersonal skills for interfacing with all levels of internal and external audit and mana